Jonathan Hoffman

Financial Services Regulatory Attorney I Broker-Dealer I Investment Adviser

New York, New York, United States

About

Experienced counsel excelling in financial regulatory and enforcement advice, including investment adviser and broker-dealer regulations. E-discovery expert with strong data analysis and technology background, particularly for investigations, disputes and regulatory and enforcement matters.

Experience

  • SMBC Group (4 yrs 8 mos)
    • Vice President, Counsel
      Dec 2025 - Present · 8 mos

    • Sales & Trading Attorney (Consultant via Tandym Group)
      Dec 2021 - Nov 2025 · 4 yrs

  • Associate (Financial Regulation & Enforcement) at Baker McKenzie
    Feb 2020 - Oct 2021 · 1 yr 9 mos

  • Associate (eData Practice Group) at Morgan, Lewis & Bockius LLP
    2010 - Jan 2020 · 10 yrs 1 mo

    Associate (Dec. 2017 -Jan. 2020); eData Attorney (Sept. 2016 - Dec. 2017); Contract Attorney (March 2010 - Sept. 2016)